National investment loss lawyers KlaymanToskes is investigating broker James Pelletiere (CRD# 2628708) of Pruco Securities (a/k/a Prudential), who has been permanently barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his failure to provide information and documents in connection with the regulator’s investigation concerning his misuse of customer funds.
According to FINRA BrokerCheck, James Paul Pelletiere Jr. has a customer complaint disclosed which alleged failure to disclose all the facts regarding churning of policies and fees, and was settled in favor of the investor for $148,532.53.
Pelletiere was previously registered as a broker with Pruco Securities from 2019 to 2022 in Downers Grove, IL. Pelletiere was also previously registered with MML Investors Services in Chicago, IL.
Investors that suffered losses with broker James Pelletiere are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of James Pelletiere:
If you suffered losses with broker James Pelletiere at Pruco Securities contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorney’s fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker James Pelletiere. These signs could potentially indicate misrepresentation, omission, negligence, or misconduct. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker James Pelletiere, or have concerns regarding your investment portfolio at Pruco Securities and/or MML Investors Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.